11 Regulatory Governance Jobs

Job Insights: Help reduce strengthen front to back regulatory control framework by investigating on regulatory incidents, writing incident reports, designing remediations and following-up on actions Preparation of regulatory governance committees including production of KPIs and drafting of governance documentation. Initial focus will be short selling, onboarding of new trading venues and best execution Assess and document APAC regulatory landscape for capital markets activities Assess and challenge the effectiveness of GM control set up against regulatory risks, propose and implement improvements Materialize and maintain the GM control plan from a front to back perspective and perform mappi...

As a Compliance Manager, your role will involve the following key responsibilities: - Regulatory Governance: You will interpret, implement, and monitor compliance with all RBI guidelines, master directions, and circulars relevant to fintech and digital financial services. - Policy & Framework Development: Designing and maintaining compliance frameworks, internal policies, and SOPs aligned with regulatory expectations will be a crucial part of your role. - Advisory & Monitoring: Providing proactive compliance advisory to business, product, operations, and technology teams for new product launches, partnerships, and process changes. - Regulatory Reporting: Ensuring accurate and timely submissi...

Role Overview: As a TPM External Engagement Manager at Deutsche Bank, you will be responsible for managing risks related to the engagement of third-party vendors and outsourcing. You will play a crucial role in driving and coordinating activities related to Regulatory Analysis, Operational Management, and Content Production within the Third Party Management (TPM) function. Key Responsibilities: - Build and maintain an up-to-date analysis of Deutsche Bank's compliance against Third Party Regulations. - Run the Regulatory Governance Forum, tracking progress of new regulations, escalating risks and issues, and creating internal Point of View papers. - Act as the primary contact for TPM issues f...

Role Overview: You have the exciting opportunity to join the Global Regulatory Practice group within Securities Services as an Analyst. In this dynamic role, you will partner with the Business to provide comprehensive insights on regulatory changes, interpret their impact, develop execution strategies and client solutions, publish thought leadership, and engage in industry advocacy. Your role will involve supporting the launch of critical regulatory impact assessment processes, maintaining regulatory governance models and controls frameworks, and supporting client-facing regulatory intelligence tools. You will have cross-regional exposure to different product areas within Securities Services...

As a CBP Global Regulatory Governance at Barclays, you will play a crucial role in leading the evolution of the digital landscape, driving innovation, and ensuring excellence in customer experiences. Your responsibilities will include managing regulatory engagements for Technology & CSO, supporting leadership where necessary, and delivering on the agreed strategy for Technology and CSO regulatory, external audit, and client engagement globally. You will collaborate with various stakeholders across the bank to enhance control effectiveness through detailed documentation of control assessments, procedures, and findings. To excel in this role, you should have experience in managing Technology &...

We seek individuals who uphold the highest standards of integrity, demonstrate professionalism in every interaction, treat others with respect, and consistently align personal ambition with the collective goals of the firm. Designation: Vice President Practice Area: Financial Regulatory Practice Location: Mumbai Experience: 10 - 15 years Job Description: The Vice President will play a senior role within the Financial Regulatory Practice, responsible for steering complex client engagements across regulatory supervision , policy formulation, risk management (including credit, market conduct, AML/KYC, and fraud), regulatory governance, and compliance transformation for both SEBI- and RBI-regula...

The Central Control Capabilities function is responsible for driving Monitoring & Testing (M&T) of key controls across the business. It comprises of four groups: Control Assessment, Call Listening, Central Testing, and Strategy, Governance & Automation (SG&A). Control Assessment and Central Testing functions partner with Control Owners and Inbusiness Control Teams to conduct M&T activities for key controls in scope of the CTU. This includes control design assessment, development of tools for operational effectiveness monitoring and testing, assessment of the design of tools, execution of activities, and disposition of exceptions identified through M&T activities. Central Testing function in ...

The Operations Risk & Regulatory Control (ORRC) Division is a global team responsible for Operational Risk & Regulatory Governance, reporting, oversight, and support for Operational Risk Management. An opportunity exists within the Operations Risk Governance (ORG) team, a global risk function within ORRC focused on ensuring risk governance and reporting, promoting risk culture, and enhancing operational risk mitigation strategies. As a member of ORG, you will be tasked with ensuring that adequate controls are in place to mitigate Operational Risk across Operations and safeguard the firm from such risks. You will also report to Senior Management on operational risk issues, assist in embedding...

Job Insights: Help reduce strengthen front to back regulatory control framework by investigating on regulatory incidents, writing incident reports, designing remediations and following-up on actions Preparation of regulatory governance committees including production of KPIs and drafting of governance documentation. Initial focus will be short selling, onboarding of new trading venues and best execution Assess and document APAC regulatory landscape for capital markets activities Assess and challenge the effectiveness of GM control set up against regulatory risks, propose and implement improvements Materialize and maintain the GM control plan from a front to back perspective and perform mappi...

Position - Assistant Manager / Manager - Global Market Front Office Regulatory Permanent Control Position Purpose The primary responsibility of the GM Regulatory Permanent Control Officer (GM RPC) is to establish, deploy and run the Governance & Control Frameworks specifically for Sanctions & Embargoes called by any regulation impacting Global Markets Front or required by the Banks supervisors. Responsibilities Direct Responsibilities PROTECTION Help reduce strengthen front to back regulatory control framework by investigating on regulatory incidents, writing incident reports, designing remediations and following-up on actions GOVERNANCE Preparation of regulatory governance committees includ...

About Business line/Function: The Chief Conduct and Control Office (GM CCCO) is a transversal team within Global Markets (GM) that is responsible for overseeing the main risks and controls, while ensuring the integrity and the sustainable development in GMs portfolio of activities. GM CCCO has a global mandate across all platforms, with teams located in Americas, EMEA and APAC. The primary responsibility of the GM Regulatory Permanent Control Officer (GM RPC) is to establish, deploy and run the Governance Control Frameworks specifically for Sanctions Embargoes called by any regulation impacting Global Markets Front or required by the Banks supervisors. Reviewing regulatory-related control re...